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Home Page > Executive Branch > Code of Federal Regulations > Electronic Code of Federal Regulations
e-CFR Data is current as of May 5, 2009
TITLE 17--Commodity and Securities Exchanges
CHAPTER II--SECURITIES AND EXCHANGE COMMISSION
PART 230--GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933
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| Definitions of terms used in the rules and regulations. |
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| Business hours of the Commission. |
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| Inspection of registration statements. |
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| Non-disclosure of information obtained in the course of examinations and investigations. |
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| Definition of ''rules and regulations'' as used in certain sections of the Act. |
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| Definition of security issued under governmental obligations. |
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| Definition of ''common trust fund'' as used in section 3(a)(2) of the Act. |
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| Definition for purposes of section 5 of the Act, of ''sale'', ''offer'', ''offer to sell'', and ''offer for sale''. |
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| Communications not deemed a prospectus. |
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| Options material not deemed a prospectus. |
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| Statements of additional information. |
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| Notice of proposed registered offerings. |
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| Materials not deemed an offer to sell or offer to buy nor a prospectus. |
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| Notice of certain proposed unregistered offerings. |
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| Offshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore. |
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| Definition of certain terms in relation to assessable stock. |
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| Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution of securities. |
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| Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing. |
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| Publications or distributions of research reports by brokers or dealers distributing securities. |
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| Publications by brokers or dealers distributing asset-backed securities. |
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| Definition of ''distribution'' in section 2(11) for certain transactions. |
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| Definition of ''commission from an underwriter or dealer not in excess of the usual and customary distributors' or sellers' commissions'' in section 2(11), for certain transactions. |
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| Definition of ''participates'' and ''participation,'' as used in section 2(11), in relation to certain transactions. |
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| Definition of ''has purchased'', ''sells for'', ''participates'', and ''participation'', as used in section 2(11), in relation to certain transactions of foreign governments for war purposes. |
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| Persons deemed not to be engaged in a distribution and therefore not underwriters. |
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| Private resales of securities to institutions. |
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| Reclassification of securities, mergers, consolidations and acquisitions of assets. |
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| Rules under section 18 of the Act. |
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| ''Part of an issue'', ''person resident'', and ''doing business within'' for purposes of section 3(a)(11). |
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| Definition of ''exchanged'' in section 3(a)(9), for certain transactions. |
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| Definition of ''commission or other remuneration'' in section 3(a)(9), for certain transactions. |
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| Safe harbor definition of certain ''annuity contracts or optional annuity contracts'' within the meaning of section 3(a)(8). |
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| Definition of ''transactions by an issuer not involving any public offering'' in section 4(2), for certain transactions. |
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| Offer or sale of certain fractional interests. |
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| Definition of ''preceded by a prospectus'' as used in section 5(b)(2) of the Act, in relation to certain transactions. |
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| Definition of ''preceded by a prospectus'' as used in section 5(b)(2) of the Act, in relation to certain transactions requiring approval of security holders. |
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| Definition of ''preceded by a prospectus'', as used in section 5(b)(2), in connection with certain transactions in standardized options. |
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| Delivery of prospectuses to investors at the same address. |
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| Integration of abandoned offerings. |
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| Investment company sales literature. |
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| Small entities under the Securities Act for purposes of the Regulatory Flexibility Act. |
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| Definitions of certain terms in the last paragraph of section 11(a). |
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| Information available to purchaser at time of contract of sale. |
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| Certain definitions for purposes of section 12(a)(2) of the Act. |
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| Registered investment company exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act. |
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| Amendments to rules and regulations governing exemptions. |
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| Submission of tenders in registered exchange offers. |
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| Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers. |
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| Exemption from section 5(c) of the Act for certain communications made by or on behalf of issuers more than 30 days before a registration statement is filed. |
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| Post-filing free writing prospectuses in connection with certain registered offerings. |
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| Offers made in connection with a business combination transaction. |
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| Exemption from section 5(c) for certain communications in connection with business combination transactions. |
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| Communications in connection with certain registered offerings of asset-backed securities. |
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| Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information and forward-looking information. |
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| Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information. |
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| Prohibition of use of certain financial statements. |
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| Disclosure detrimental to the national defense or foreign policy. |
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| Delivery of prospectuses. |
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| Delivery of prospectus by dealers; exemptions under section 4(3) of the Act. |
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| Liability for certain statements by issuers. |
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| Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the Securities Act. |
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| Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans. |
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| Registration of underlying securities in asset-backed securities transactions. |
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| Definition of ''issuer'' in section 2(a)(4) of the Act in relation to asset-backed securities. |
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| Exemption of shares offered in connection with certain transactions. |
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| Exemption for offers and sales to certain Canadian tax-deferred retirement savings accounts. |
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| Exemption for standardized options. |
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| Temporary exemption for eligible credit default swaps. |
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| Solicitation of interest document for use prior to an offering statement. |
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| Preliminary Offering Circulars. |
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| Filing of sales material. |
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| Reports of sales and use of proceeds. |
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| Suspension of the exemption. |
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| Withdrawal or abandonment of offering statements. |
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| Insignificant deviations from a term, condition or requirement of Regulation A. |
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| Disqualification provisions. |
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| Consent to Service of Process. |
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| Application of 230.400 to 230.494, inclusive. |
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| Requirements as to proper form. |
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| Requirements as to proper form. |
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| Number of copies; binding; signatures. |
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| Requirements as to paper, printing, language and pagination. |
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| Preparation of registration statement. |
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| Confidential treatment of information filed with the Commission. |
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| Information unknown or not reasonably available. |
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| Incorporation by reference. |
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| Modified or superseded documents. |
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| Registration of additional securities and additional classes of securities. |
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| Registration by certain successor issuers. |
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| Delayed or continuous offering and sale of securities. |
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| Securities to be issued as a result of stock splits, stock dividends and anti-dilution provisions and interests to be issued pursuant to certain employee benefit plans. |
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| Date of financial statements. |
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| Supplemental information. |
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| Offerings by blank check companies. |
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| Legibility of prospectus. |
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| Presentation of information in prospectuses. |
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| Filing of prospectuses, number of copies. |
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| Filing of certain prospectuses and communications under 230.135 in connection with business combination transactions. |
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| Filing of certain prospectuses under 230.167 in connection with certain offerings of asset-backed securities. |
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| Contents of prospectus used after nine months. |
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| Documents constituting a section 10(a) prospectus for Form S-8 registration statement; requirements relating to offerings of securities registered on Form S-8. |
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| Prospectus relating to several registration statements. |
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| Prospectus for use prior to effective date. |
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| Prospectus in a registration statement at the time of effectiveness. |
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| Prospectus in a registration statement after effective date. |
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| Prospectus in a registration statement pertaining to an offering other than pursuant to Rule 430A or Rule 430B after the effective date. |
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| Additional information required to be included in prospectuses relating to tender offers. |
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| Conditions to permissible post-filing free writing prospectuses. |
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| Consents required in special cases. |
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| Application to dispense with consent. |
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| Consents of persons about to become directors. |
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| Consent to use of material incorporated by reference. |
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| Date of filing; timing of fee payment. |
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| Calculation of effective date. |
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| Distribution of preliminary prospectus. |
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| Acceleration of effective date. |
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| Immediate effectiveness of certain registration statements and post-effective amendments. |
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| Report of offering of securities and use of proceeds therefrom. |
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| Effective date of post-effective amendments to registration statements filed on Form S-8 and on certain Forms S-3, S-4, F-2 and F-3. |
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| Effective date of certain registration statements on Form F-6. |
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| Effectiveness of registration statements and post-effective amendments thereto made on Forms F-7, F-8, F-9, F-10 and F-80. |
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| Formal requirements for amendments. |
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| Signatures to amendments. |
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| Filing of amendments; number of copies. |
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| Date of filing of amendments. |
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| Amendment filed with consent of Commission. |
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| Certain pre-effective amendments deemed filed with the consent of the Commission. |
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| Amendment filed pursuant to order of Commission. |
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| Withdrawal of registration statement or amendment. |
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| Powers to amend or withdraw registration statement. |
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| Procedure with respect to abandoned registration statements and post-effective amendments. |
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| Information required in prospectuses. |
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| Advertising by an investment company as satisfying requirements of section 10. |
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| Exhibits for certain registration statements. |
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| Undertaking required in certain registration statements. |
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| Effective date of post-effective amendments filed by certain registered investment companies. |
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| Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies. |
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| Effectiveness of registration statements filed by certain unit investment trusts. |
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| Effective date of registration statements relating to securities to be issued in certain business combination transactions. |
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| Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries. |
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| Information to be furnished under paragraph (3) of Schedule B. |
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| Information to be furnished under paragraph (6) of Schedule B. |
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| Omissions from prospectuses. |
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| Additional Schedule B disclosure and filing requirements. |
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| Preparation of registration statement. |
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| Contents of prospectus and statement of additional information used after nine months. |
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| Filing of investment company prospectuses--number of copies. |
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| Summary Prospectuses for open-end management investment companies. |
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| Definitions and terms used in Regulation D. |
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| General conditions to be met. |
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| Filing of notice of sales. |
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| Exemption for limited offerings and sales of securities not exceeding $1,000,000. |
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| Exemption for limited offers and sales of securities not exceeding $5,000,000. |
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| Exemption for limited offers and sales without regard to dollar amount of offering. |
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| Disqualifying provision relating to exemptions under 230.504, 230.505 and 230.506. |
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| Insignificant deviations from a term, condition or requirement of Regulation D. |
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| Definitions of terms used in 230.601 to 230.610a. |
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| Amount of securities exempted. |
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| Filing of notification on Form 1-E. |
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| Filing and use of the offering circular. |
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| Offering not in excess of $100,000. |
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| Sales material to be filed. |
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| Prohibition of certain statements. |
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| Reports of sales hereunder. |
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| Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies. |
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| Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation. |
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| Definitions for 230.800, 230.801 and 230.802. |
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| Exemption in connection with a rights offering. |
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| Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers. |
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| Offers or sales of securities by the issuer, a distributor, any of their respective affiliates, or any person acting on behalf of any of the foregoing; conditions relating to specific securities. |
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| Exemption for transactions exempt from qualification under 25102(n) of the California Corporations Code. |
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February 27, 2007< !-- #EndDate -- >-->
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